Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of
Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of a Derivatives Business
and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment
management company as representative for soliciting of customers to enter into an agreement with the private fund management company; “Management Company” means a mutual fund management company, a private fund
management company as representative for soliciting of customers to enter into an agreement with the private fund management company; 1“Management Company” means a mutual fund management company, a private
appointed by a private fund management company as representative for soliciting of customers to enter into an agreement with the private fund management company; 1“Management Company” means a mutual fund
from being shareholders or being authorized by agreement or any other acts, particularly any person possessing any of the following characteristics: (a) Any person who has the voting rights, whether
Rules and Regulations Key Points 1. Revision of practical guidelines for entering regulatory sandbox, from Circular No. BOT ForThorNgor. Wor 311/2562 dated March 11, 2019, effective March 15, 2019 onward
Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek
to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was